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§ 1206.608 Time extensions in unusual cir

cumstances.

(a) In “unusual circumstances" as that term is defined in § 1206.101(f), the time limits for an initial determination (see §§ 1206.603 and 1206.604) and for a final determination (see § 1206.607) may be extended, but not to exceed a total of ten working days in the aggregate in the processing of any specific request for an agency record.

(b) If an extension of time under this section would be required, the requester shall be promptly notified of the reasons therefor and the date when a determination will be sent.

(c) If a record described in a request cannot be located within the ten-working-day time limit for an initial determination, after consultation with a professional NASA employee who is familiar with the subject area of the request, that fact normally will justify an initial determination that the record requested cannot be identified or located, rather than a decision that an extension of time under this section would be appropriate.

(d) In exceptional circumstances, if it would be impossible to complete a search for or review of agency records within the ten-working-day period for an initial determination, an official authorized to make an initial determination or his designee may seek an extension of time from the requester. If such an extension of time can be agreed upon, that fact should be clearly documented and the initial determination made within the extended time period; if not, an initial determination that the record cannot be identified or located, or reviewed, within the tenworking-day time limit shall be made under § 1206.603.

§ 1206.609 Litigation.

In any instance in which NASA is sued in connection with a request for an agency record under this part, the matter shall promptly be referred to the General Counsel together with a report on the details and status of the request. In such a case, if a final determination with respect to the request has not been made, such a determination shall be made as soon as possible,

under procedures prescribed by the General Counsel in each case.

Subpart 7-Search and Duplication Fees

§ 1206.700 Schedule of fees.

The fees specified in this section shall be charged for searching for or duplicating an agency record made available in response to a request under this part.

(a) Copies. For copies of documents, such as letters, memoranda, statements, reports, contracts, etc., $0.10 per copy of each page. For copies of oversize documents, such as maps, charts, blueprints, etc., $0.15 for each reproduced copy per square foot. These charges for copies include the time spent in duplicating the documents.

(b) Clerical searches. For each one quarter hour spent by clerical personnel in searching for an agency record in response to a request under this part, $1.00.

(c) Nonroutine, nonclerical searches. Where a search cannot be performed by clerical personnel, for example, where the task of determining which records fall within a request and collecting them requires the time of professional or managerial personnel, and where the amount of time that must be expended in the search and collection of the requested records by such higher level personnel is substantial, charges for the search may be made at a rate in excess of the clerical rate, namely for each one quarter hour spent by such higher level personnel in searching for a requested record, $2.50.

(d) Computerized records. Because of the diversity in the types and configurations of computers which may be required in responding to requests for agency records maintained in whole or in part in computerized form, it is not feasible to establish a uniform schedule of fees for search and printout of such records. In most instances, records maintained in computer data banks are available also in printed form and the standard fees specified in paragraph (a) of this section shall apply. If the request for an agency record required to be made available

under this part requires a computerized search or printout, the charge for the time of personnel involved shall be at the rates specified in paragraphs (b) and (c) of this section. The charge for the computer time involved and for any special supplies or materials used, such as magnetic tape or Hollerith cards, shall not exceed the direct cost to NASA. Before any computer search or printout is undertaken in response to a request for an agency record, the requester shall be notified of the applicable unit costs involved and the total estimated cost of the search or printout.

(e) Other search and duplication costs. Reasonable standard fees, other than as specified in paragraphs (a) through (d) of this section, may be charged for additional direct costs incurred in searching for or duplicating an agency record in response to a request under this part. Charges which may be made under this paragraph include, but are not limited to, the transportation of NASA personnel to places of record storage for search purposes or freight charges for transporting records to the personnel searching for or duplicating a requested record.

(f) Unsuccessful or unproductive searches. Search charges, as set forth in paragraph (b) and (c) of this section, may be made even when an agency record which has been requested cannot be identified or located after a diligent search and consultation with a professional NASA employee familiar with the subject area of the request, or if located, cannot be made available under Subpart 3 of this part. Ordinarily, however, fees will not be charged in such instances unless they are substantial and the requester has consented to the search after having been advised that it cannot be determined in advance whether any records exist which can be made available (see § 1206.701) and that search fees will be charged even if no record can be located and made available.

(g) Examination and related tasks in screening records. No charge shall be made for the time spent in resolving legal or policy issues in connection with a request for an agency record under this part, in examining records to determine whether they will be

made available to the requester, or in monitoring the inspection of requested records by a member of the public.

§ 1206.701

Advance estimate or deposit before incurring costs.

(a) In the circumstance specified in paragraphs (a) (1) through (4) of this section, before NASA undertakes to search for an agency record and thereby subjects the requester to a fee under this subpart, NASA will promptly notify the requester of the estimated fees chargeable for searching for and duplicating the requested record. Such an advance estimate shall be provided in the following circumstances:

(1) If the requester specifically requests an estimate;

(2) If the search involves computerized records (see § 1206.700(d));

(3) If the search and duplication would involve transportation costs (see § 1206.700(e)); or

(4) If the estimated cost of the search for an agency record exceeds $25.00 and it cannot be determined in advance if the record requested can be identified or located and made available to the requester.

(b) In appropriate cases, an advance deposit may be required before NASA will undertake to search for and duplicate an agency record.

(c) A notice of estimated fees or request for advance deposit shall also extend an offer to the requester to confer with knowledgeable NASA personnel in an attempt to reformulate the request in a manner which will reduce the fees and meet the needs of the requester.

(d) If an estimate is provided under this section, the request for the record shall not be deemed to have been received until the requester agrees to bear the estimated cost or, if an advance deposit is requested, provides such a deposit.

§ 1206.702 Waiver of fees.

(a) The NASA official making an initial or final determination on a request for an agency record or the Official-in-Charge of each Information Center (see § 1206.401) may waive all or part of a fee which would be chargeable under this subpart if the official determines that such action is

in the public interest because making the record available can be considered as primarily benefiting the general public.

(b) Ordinarily, fees will not be charged where they would amount in the aggregate, for a request or series of related requests, to less than $3.00. [40 FR 7244, Feb. 19, 1975, as amended at 40 FR 54240, Nov. 21, 1975]

§ 1206.703 Certification.

In accordance with the provisions of 31 U.S.C. 483a, a charge of $1.00 shall be made for each certification of true copies of agency records.

§ 1206.704 Form of payment.

Payment by mail shall be made by check or money order payable to the "Treasury of the United States" and sent to the NASA Information Center which processed the request.

Subpart 8-Failure to Release Records to the Public

§ 1206.800 Failure to release records to the public.

(a) Except to the extent that a person has actual and timely notice of the terms thereof, a person may not in any manner be required to resort to, or be adversely affected by, a matter required to be published in the FEDERAL REGISTER under § 1206.200(a) and not so published.

(b) A final order, opinion, statement of policy, interpretation, or staff manual or instruction that affects a member of the public may be relied upon, used, or cited as precedent by NASA against any member of the public only if it has been indexed and either made available or published as provided by § 1206.200(b) or if the member of the public has actual and timely notice of the terms thereof.

(c) Failure to make available an agency record required to be made available under this part could provide the jurisdictional basis for a suit against NASA under 5 U.S.C. 552(a)(4) (B) through (G), which provides as follows:

(B) On complaint, the district court of the United States in the district in which the complainant resides, or has his principal

place of business, or in which the agency records are situated, or in the District of Columbia, has jurisdiction to enjoin the agency from withholding agency records and to order the production of any agency records improperly withheld from the complainant. In such a case the court shall determine the matter de novo, and may examine the contents of such agency records in camera to determine whether such records or any part thereof shall be withheld under any of the exemptions set forth in subsection (b) of this section, and the burden is on the agency to sustain its action.

(C) Notwithstanding any other provision of law, the defendant shall serve an answer or otherwise plead to any complaint made under this subsection within thirty days after service upon the defendant of the pleading in which such complaint is made, unless the court otherwise directs for good cause shown.

(D) Except as to cases the court considers of greater importance, proceedings before the district court, as authorized by this subsection, and appeals therefrom, take precedence on the docket over all cases and shall be assigned for hearing and trial or for argument at the earliest practicable date and expedited in every way.

(E) The court may assess against the United States reasonable attorney fees and other litigation costs reasonably incurred in any case under this section in which the complainant has substantially prevailed.

(F) Whenever the court orders the production of any agency records improperly withheld from the complainant and assesses against the United States reasonable attorney fees and other litigation costs, and the court additionally issues a written finding that the circumstances surrounding the withholding raise questions whether agency personnel acted arbitrarily or capriciously with respect to the withholding, the Civil Service Commission shall promptly initiate a preceeding to determine whether disciplinary action is warranted against the officer or employee who was primarily responsible for the withholding. The Commission, after investigation and consideration of the evidence submitted, shall submit its findings and recommendations to the administrative authority of the agency concerned and shall send copies of the findings and recommendations to the officer or employee or his representative. The administrative authority shall take the corrective action that the Commission recommends.

(G) In the event of noncompliance with the order of the court, the district court may punish for contempt the responsible employee, and in the case of a uniformed service, the responsible member.

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On or before March 1 of each calendar year, NASA shall submit a report covering the preceding calendar year to the Speaker of the House of Representatives and President of the Senate for referral to the appropriate committees of the Congress. The report shall include the following information:

(a) The number of determinations made by NASA not to comply with requests for records made to the Agency under Subpart 6 of this part and the reasons for each such determination;

(b) The number of appeals made by persons under Subpart 6 of this part, the result of such appeals, and the reason for the action upon each appeal that results in a denial of information;

(c) The names and titles or positions of each person responsible for the denial of records requested under this part, and the number of instances of participation for each;

(d) The results of each proceeding conducted pursuant to 5 U.S.C. 552(a)(4) (B) through (G) (see § 1206.800(c)), including a report of the disciplinary action taken against the officer or employee who was primarily responsible for improperly withholding records or an explanation of why disciplinary action was not taken;

(e) A copy of the current version of this Part 1206 and any other rules or regulations made by NASA regarding 5 U.S.C. 552;

(f) A copy of the current fee schedule and the total amount of fees collected by NASA for making records available under this Part 1206; and

(g) Such other information as indicates efforts by NASA to administer fully this part.

PART 1207-STANDARDS OF CONDUCT

Sec.

1207.735-1 Scope of part.

1207.735-2 Applicability.

Subpart A-General Provisions

1207.735-100 Ethical standards of conduct. 1207.735-101 Other general standards of conduct.

Subpart B-Acceptance of Gifts, Gratuities, or Entertainment

1207.735-200 Scope of subpart. 1207.735-201 Policy.

1207.735-202 Statutory prohibitions.

Subpart C-Outside Employment and Other Activity

1207.735-300 Scope of subpart. 1207.735-301 Definition. 1207.735-302 Policy.

1207.735-303 Guidelines and limitations. 1207.735-304 Distinction between official and nonofficial activities.

1207.735-305 Compensation, honorariums, travel expenses. 1207.735-306

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1207.735-307 Special conditions applicable to writing and editing.

1207.735-308 Administrative approval. 1207.735-309 Related statutory provisions. Appendix A-Procedures for Permission To Engage in Outside Employment or Other Outside Activity.

Subpart D-Financial Interests and Investments 1207.735-400 Scope of subpart. 1207.735-401 General. 1207.735-402 Statutory

prohibitions against acts affecting a personal financial interest.

1207.735-403 Waiver of statutory prohibition.

1207.735-404 Statement of employment and financial interests.

Appendix A-Waiver Procedures.
Appendix B-Categories of Financial Inter-
ests Exempted From the Prohibition of 18
U.S.C. 208(a).

Appendix C-Procedures for Filing Statements of Employment and Financial Interests.

Subpart E—Advisory Service and Enforcement 1207.735-500 Scope of subpart. 1207.735-501 Use of advisory service. 1207.735-502 Designation of counselors and statement of functions.

1207.735-503 Review, enforcement, reporting, and investigating.

Subpart F-Standards of Conduct for Special

Government Employees.

1207.735-600 Scope of subpart. 1207.735-601 Definitions.

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and financial interests. 1207.735-607 Advisory service. 1207.735-608 Review, enforcement, reporting, and investigation.

Appendix A-Conflict of Interests Statutes. Appendix B-Categories of Financial Interests Exempted From the Prohibition of 18 U.S.C. 208(a).

Appendix C-Miscellaneous Statutory Provisions.

AUTHORITY: E.O. 11222, of May 11, 1965, 30 FR 6469, 3 CFR 1965 Supp.; 5 CFR 735.104.

SOURCE: 32 FR 14648, Oct. 21, 1967, unless otherwise noted.

§ 1207.735-1 Scope of part.

The provisions of this part prescribe regulations for the maintenance of the high ethical standards of conduct required of NASA employees, including special Government employees as they are covered by this part in carrying out their duties and responsibilities. § 1207.735-2 Applicability.

(a) The provisions of Subparts A, B, C and D of this part are applicable to: (1) All regular officers and employees of NASA (referred to hereinafter as "employees"), but not special Government employees as defined in

§ 1207.735-601(a), and

(2) All civilian and military personnel of other Government agencies regularly detailed to NASA. (Also referred to hereinafter as "employees".) (b) The provisions of Subpart E are applicable to:

(1) NASA employees except special Government employees as defined in § 1207.735-601(a), and

(2) Civilian and military personnel of other Government agencies regularly detailed to NASA; however, disciplinary action may be effected against such civilian or military personnel only by the parent employing agency or military service.

(c) The provisions of Subpart F are applicable only to special Government employees as defined in § 1207.735601(a).

Subpart A-General Provisions

§ 1207.735-100 Ethical standards of conduct.

Each NASA employee will refrain from any use of his official position which is motivated by, or has the appearance of being motivated by, the desire for private gain for himself or other persons. He must conduct himself in such a manner that there is not the slightest suggestion of the extracting of private advantage from his Government employment. Pursuant to this policy, each NASA employee will observe the following standards of conduct:

(a) He will not as a result of, or on the basis of any information derived from his official position or from the official position of other NASA employees with whom he associates, engage, directly or indirectly, in any business transaction or arrangement, including the buying or selling of securities or recommending the purchase or sale of securities to other persons.

(b) He will exercise care in his personal financial activities to avoid any appearance of acting on the basis of information obtained in the course of performing his Government duties.

(c) If he acquires information in the course of performing his Government duties that is not generally available to those outside the Government, he will not use this information to further a private interest or for the special benefit of a business or other entity in which he has a financial or other interest.

(d) He will not use his Government position in any way to coerce, or give the appearance of coercing, another person to provide any financial benefit to him or to other persons.

(e) He will avoid any action, whether or not specifically prohibited by law or regulation (including the provisions of this part), which might result in, or create the appearance of:

(1) Using his public office for private gain;

(2) Giving preferential treatment to any organization or person;

(3) Impeding Government efficiency or economy;

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